Enforcement Actions

The CFTC Division of Enforcement investigates and prosecutes alleged violations of the Commodity Exchange Act and Commission regulations. The CFTC takes enforcement actions against individuals and firms registered with the Commission, those who are engaged in commodity futures and option trading on designated domestic exchanges, and those who improperly market futures and options contracts.

View Dispositions
View Opinions and Adjudicatory Orders

Enforcement Advisory: Updated Advisory on Self Reporting and Full Cooperation

Enforcement Advisory: Cooperation Factors in Enforcement Division Sanction Recommendations for Individuals

Enforcement Advisory: Cooperation Factors in Enforcement Division Sanction Recommendations for Companies

Enforcement Advisory: Advisory on Self Reporting and Cooperation for CEA Violations Involving Foreign Corrupt Practices

See CFTC Press Release 7518-17 (January 19, 2017) and
Speech of James McDonald, Director of the Division of Enforcement Commodity Futures Trading Commission Regarding Perspectives on Enforcement: Self-Reporting and Cooperation at the CFTC (September 25, 2017)

Date ENFORCEMENT ACTIONS
Federal Court Finds Former Precious Metals CEO Robert Escobio in Contempt of Court for Failure to Pay Restitution to Defrauded Customers
Federal Court Orders Futures Trader to Pay a Penalty of More Than $1 Million for Fraud
In CFTC Action, Federal Court Orders Precious Metals Firm and its Principal to Pay More than $3.6 million in Monetary Sanctions for Precious Metals Fraud and Misappropriation
Federal Court Orders Precious Metals Dealer and Its Owner to Pay More than $2.3 Million for Fraud and Misappropriation in Gold and Silver Scheme
Federal Court Orders Forex Fraudster and His Companies to Pay More Than $2.2 Million for Fraudulent Solicitation and Misappropriation of Customer Funds
Foreign Trading Platform and Its CEO to Pay $990,000 for Illegal Bitcoin-Related Transactions with U.S. Customers
CFTC Division of Enforcement Issues Advisory on Violations of the Commodity Exchange Act Involving Foreign Corrupt Practices
CFTC Announces Whistleblower Award Totaling More Than $2 Million
Federal Court Orders Purported Metals Dealer and His Companies to Pay More Than $8 million for Fraud and Misappropriation of Customer Funds in CFTC Action
In CFTC Action, Former Trader Krishna Mohan Admits to Engaging in Spoofing and Manipulative Scheme at a Proprietary Trading Firm